Wyoming CLE - Finance and Banking Courses
This is a listing of Finance and Banking CLE Courses for Wyoming. Please make your selection below of Wyoming CLE courses. Click "Add To Cart" to purchase Individual CLE Courses. For more information about a particular CLE course, click on the "More Info" link. Click the "Preview" button to view a short preview of the course.
Wyoming CLE
Accreditation Info
United Institute for Continuing Legal Education is a provider of accredited CLE courses throughout the country. To view our full accreditation details please .
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On-DemandOnline & iOS/Android App
Alternative Investments and Complex Products
Alternative investments and complex products have changed dramatically over the past few years. This CLE course will explain why it’s important to understand product features, characteristics and particularly their supervisory challenges. The course will explain the latest regulatory developments which are relevant to these complex products and alternative investments as well as the due diligence requirements and industry practices when recommending REIT securities and private placemen... More Info
$290.75General Credit -
On-DemandOnline & iOS/Android App
Consolidated Audit Trail
Compliance with a consolidated audit trail requires attention and preparation. This CLE course will explain how to properly and effectively prepare for compliance with the consolidated audit trail (CAT) and will include a discussion of deadlines, useful resources, and firm obligations. The course will also offer an update on the CAT National Market System (NMS) Plan. A review of test release updates, and information on upcoming dates worth noting will be included. More Info
$290.75General Credit -
On-DemandOnline & iOS/Android App
Doing More With Less: Challenges of a Small Firm Compliance Department
This CLE course will explain how to mitigate regulatory risk while simultaneously fulfilling your duties as officers of the firm. The course will explain how to create a fiscally responsible compliance program and how to ensure commitment to its policies. Presented by FINRA staff and industry practitioners, the course will explain both how to assess and avoid potential risk situations as well as allocate resources for the establishment of a compliance program. The course will cover iss... More Info
$290.75General Credit -
On-DemandOnline & iOS/Android App
Fannie Mae and FHA Condominium Regulation and Policy
The regulations and processes for condominium eligibility with regards to loans are vast, complex and often ill-understood. Moreover, the differing requirements of Fannie Mae and the Federal Housing Administration (FHA) can further complicate matters. This CLE course will clarify all with a comprehensive look at agency eligibility, legal requirements, commercial space thresholds, FEMA requirements and the limits to investor ownership. More Info
$290.75General Credit -
On-DemandOnline & iOS/Android App
Municipal Rules and 529 Plans Update
The recently amended rules and new brand standard for municipal dealers’ advertising will be presented in full in this CLE course. New formal guidance for dealer and advertiser use of social media and how regulators are applying the modernized standards including the new rule will be discussed. The course will also present the recent sweep of the 529 educational savings plans and marketing for such products as well as how these rules impact marketing and advertising efforts. Applying the amend... More Info
$290.75General Credit -
On-DemandOnline & iOS/Android App
Options Markets: Recent Regulatory Issues
This comprehensive CLE course will feature FINRA staff and industry panelists as they discuss the regulatory issues that are currently impacting the options market. The course will explain the recent initiatives as well as the supervision of options trading in customer accounts. The course will also help you to identify effective controls, procedures and technology processes. More Info
$290.75General Credit -
Live WebinarWednesday, May 29, 202411:00 AM - 12:00 PM Eastern Time (EDT)
Live Webinar: Silicon Valley Bank: Do Its Outside Directors Share in the Blame for Its Failure?
This CLE course explores the high-profile collapse of Silicon Valley Bank in March 2023. This case study examines the factors leading to one of the largest bank failures in U.S. history, resulting from a rapid and massive bank run triggered by the disclosure of severe financial issues. With $209 billion in assets, the bank's sudden downfall sparked intense scrutiny and debate about regulatory oversight and the performance of its senior management team. However, less attention has been given to t... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
"Sweat Equity" in Small Businesses and Venture Startups: The Legal and Tax Issues
Issuing shares that are (nearly) tax-free is relatively simple when a small business or start-up first launches. When a shareholder or LLC member receives “sweat equity” or shares in exchange for labor, the tax and legal issues become a bit more complicated. This entertaining, fast-paced CLE course will explain the issues of treating “sweat equity” workers as regular employees as opposed to independent contractors, as well as explain the use of restricted stock, options, warrants and o... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
A Guide to Ethical Billing Practices and Retainer Agreements
Retainer agreements and billing systems have evolved. And courts and disciplinary committees have taken notice. Today, Judges are more inclined to write down legal fees, and disciplinary authorities are questioning lawyers whose agreements and bills violate the rules. A sound retainer agreement and clear bills can contribute to a healthy client relationship. How to tighten up your retainers and bills to ensure smooth payment and keep client relationships in tact? Join Frankfurt Kurnit ethics... More Info
$341Ethics Credit -
On-DemandOnline & iOS/Android App
A Search for Perfection: Fundamentals of UCC Article 9
The complexity of Article 9 of the UCC’s technical rules for secured transactions can be a challenge. This CLE course will offer a comprehensive overview of the major concepts that attorneys need to know about Article 9. The course offers a practical approach which outlines the fundamental issues from defining secured transactions to potential remedies for default. The course will also review the various perfections of security interests and priority issues and rules. More Info
$291General Credit
